DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

A••••• F••••••

Former SEC-registered adviserCRD 316532SEC 801-122374IAPD
Legal name A••••• F•••••• L••
Latest filing Feb 17, 2022
First filing on the tape Aug 24, 2021 · 3 filings
RAUM
$4.9M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$4.9M as of Feb 17, 2022
Dec 24, 2021$2.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 17, 2022
Aug 24, 20210 then
Employees (5.A)2 as of Feb 17, 2022
Aug 24, 20212 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 17, 2022; every figure names its basis
RAUM per advisor
$4.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$4.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$4.9M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• J•••••• A• · Membercontrol
        since 08/2021 · owns 50% to 75%
      • F••••• L•••••• · Manager, Chief Compliance Officercontrol
        since 08/2021 · owns less than 5%
      • F••••• L•••••• · Managercontrol
        since 11/2012 · owns 25% to 50% of J•• I••••••••• M••••••••• L••
      • M•••••• R•••••• A• · Membercontrol
        since 11/2012 · owns 25% to 50% of J•• I••••••••• M••••••••• L••
      • S•••••• J•••• N• · Trusteecontrol
        since 12/2012 · owns F of B•••••• T••••
      Entity owners
      • J•• I••••••••• M••••••••• L•• · Member
        direct · owns 50% to 75%
      • B•••••• T•••• · Member
        indirect · owns 25% to 50% of J•• I••••••••• M••••••••• L••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · unset to 0
        Dec 24, 2021 to Feb 17, 2022
      • Non-discretionary RAUM · $2.4M to $4.9M
        Dec 24, 2021 to Feb 17, 2022
      • RAUM · $2.4M to $4.9M
        Dec 24, 2021 to Feb 17, 2022
      • Accounts · unset to 1.0
        Aug 24, 2021 to Dec 24, 2021
      • Advisory employees · 0 to 2
        Aug 24, 2021 to Dec 24, 2021
      • State-registered IARs · 0 to 1
        Aug 24, 2021 to Dec 24, 2021
      • Discretionary RAUM · unset to 0.0
        Aug 24, 2021 to Dec 24, 2021
      • Non-discretionary RAUM · unset to 2400000.0
        Aug 24, 2021 to Dec 24, 2021
      • RAUM · unset to 2400000.0
        Aug 24, 2021 to Dec 24, 2021
      Signals
      1 dated events
      • A••••• F•••••• filed its initial SEC registration (Form ADV)
        Aug 24, 2021 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026